The Securities Act

Overview

Sections covered

• RCW 21.20.005Definitions.43 cites
• RCW 21.20.010Unlawful offers, sales, purchases.101 cites
• RCW 21.20.020Unlawful acts of person advising another.7 cites
• RCW 21.20.030Unlawful acts of investment adviser.1 cite
• RCW 21.20.035Unlawful purchases or sales for customer's account.
• RCW 21.20.037Variable contracts—Registration required—Rules.
• RCW 21.20.040Registration and notification required—Exemptions.13 cites
• RCW 21.20.050Application for registration—Filing of documents—Consent to service of process—Fee.2 cites
• RCW 21.20.060Contents of application for registration—Capital requirements.
• RCW 21.20.070When registration effective—Requirements determined by rule.
• RCW 21.20.080Duration of registration—Association with issuer, broker-dealer, federal covered adviser, or investment adviser—Notice to director—Extension of licensing period.
• RCW 21.20.090Renewal of registration—Financial reports—Application for a successor.
• RCW 21.20.100Accounts, correspondence, memoranda, papers, books, and other records—Release of information—Correction of filed document—Examination.1 cite
• RCW 21.20.110Director may deny, suspend, revoke, restrict, condition, or limit any application or registration—Director may censure or fine registrant—Grounds—Procedures—Costs—Accounting.4 cites
• RCW 21.20.120Denial, suspension, revocation of registration—Order—Request for, notice of hearing—Findings and conclusions.
• RCW 21.20.130Cancellation of registration or application—Grounds.
• RCW 21.20.135License as salesperson or broker-dealer prerequisite to suit for commission.1 cite
• RCW 21.20.140Unlawful to offer or sell unregistered securities—Exceptions.24 cites
• RCW 21.20.180Registration by coordination—Requirements—Statement, contents.2 cites
• RCW 21.20.190Time of taking effect of registration statement by coordination—Conditions—"Price amendment", notification.
• RCW 21.20.200Failure to notify of price amendment, proof of compliance—Stop order—Waiver of certain conditions.
• RCW 21.20.210Registration by qualification—Statements—Requirements—Audits.
• RCW 21.20.220Information not required when nonissuer distribution.1 cite
• RCW 21.20.230Time of taking effect of registration statement by qualification—Conditions.
• RCW 21.20.240Registration statements—Generally.
• RCW 21.20.250Registration by qualification or coordination—Escrow—Impounding proceeds.
• RCW 21.20.260Registration by coordination or qualification—Offer and sale—Duration of effectiveness.
• RCW 21.20.270Reports by filer of statement—Annual financial statements.
• RCW 21.20.275Pending registration—Notice of termination—Application for continuation.
• RCW 21.20.280Stop orders—Grounds.
• RCW 21.20.290Stop order prohibited if facts known on effective date of statement.
• RCW 21.20.300Notification of entry of stop order—Hearing—Findings, conclusions, modification, etc.1 cite
• RCW 21.20.310Securities exempt from registration.4 cites
• RCW 21.20.320Exempt transactions.13 cites
• RCW 21.20.325Denial, revocation, condition, of exemptions—Authority—Procedure.
• RCW 21.20.327Required filings—Consent to service—Failure to comply—Rules—Fees.1 cite
• RCW 21.20.330Consent to service of process—Service, how made.
• RCW 21.20.340Fees—Disposition.
• RCW 21.20.350False or misleading statements in filed documents.4 cites
• RCW 21.20.360Filing, registration, statement, exemption not conclusive as to truth or completeness—Unlawful representations.6 cites
• RCW 21.20.370Investigations—Statement of facts relating to investigation may be permitted—Publication of information—Use of criminal history record information.1 cite
• RCW 21.20.377Subpoena authority—Application—Contents—Notice—Fees.
• RCW 21.20.380Oaths—Subpoenas—Assisting another state—Compelling obedience—Punishment.4 cites
• RCW 21.20.390Injunction, cease and desist order, restraining order, mandamus—Appointment of receiver or conservator for insolvent—Restitution or damages—Costs—Accounting.5 cites
• RCW 21.20.395Administrative action—Hearing—Judicial review—Judgment.2 cites
• RCW 21.20.400Penalty for violation of chapter—Limitation of actions.15 cites
• RCW 21.20.410Attorney general, prosecuting attorney may institute criminal proceeding—Referral of evidence by director.1 cite
• RCW 21.20.420Criminal punishment, chapter not exclusive.4 cites
• RCW 21.20.430Civil liabilities—Survival, limitation of actions—Waiver of chapter void—Scienter.92 cites
• RCW 21.20.435Assurance of discontinuance of violations—Acceptance—Filing.2 cites
• RCW 21.20.440Judicial review of order—Modification of order by director on additional evidence.1 cite
• RCW 21.20.450Administration of chapter—Rules and forms, publication—Cooperation with other state and federal authorities.5 cites
• RCW 21.20.460Administrator of securities—Appointment, qualifications, term, etc.
• RCW 21.20.470Compensation, travel expenses of administrator and employees.
• RCW 21.20.480Unlawful use or disclosure of filed information.1 cite
• RCW 21.20.490No liability under chapter for act in good faith.2 cites
• RCW 21.20.500Administrative hearings public—Exception.
• RCW 21.20.510Document filed when received—Register—Inspection of register, information, etc.
• RCW 21.20.520Copies of entries, documents to be furnished—Copies as prima facie evidence.
• RCW 21.20.530Interpretative opinions by director.
• RCW 21.20.540Exemptions, exceptions, and preemptions—Burden of proof.1 cite
• RCW 21.20.700Investigations and examinations—Additional authority—Scope.
• RCW 21.20.702Suitability of recommendation—Reasonable grounds required.2 cites
• RCW 21.20.810Application of chapter not limited.
• RCW 21.20.855Examination reports and information—Exempt from public disclosure—Use in civil actions.
• RCW 21.20.860Construction—Chapter applicable to state registered domestic partnerships—2009 c 521.
• RCW 21.20.880Small securities offerings—Exemptions—Annual reports—Disqualification provisions—Rules.
• RCW 21.20.900Construction to secure uniformity.32 cites
• RCW 21.20.910Saving—Civil, criminal proceedings.
• RCW 21.20.915Saving—Prior effective registrations.
• RCW 21.20.920Application of prior law.
• RCW 21.20.925Judicial review of prior administrative orders.
• RCW 21.20.930Solicitation permits under insurance laws not limited.
• RCW 21.20.935Repealer.
• RCW 21.20.940Short title.